Bangkok, May 7, 2014 - The SEC revoked an approval of {A}, an investment consultant of Bualuang Securities Plc. for two years on account of trading derivatives through client's account for his own
Maybank Kim Eng Securities (Thailand) PLC, Chonburi branch, for trading securities through clients' accounts for their own benefits and using non-financial institution loans. The SEC also suspended {E
) using part of such funds to repurchase investment units for Client 1, and (3.2) transferring the remaining amount into her own bank account for personal use.In carrying out the above misconduct, Miss
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 33. A derivatives business operator shall segregate the customer asset from its own, and shall prepare and keep account of customer asset for
Amount Percent 30 Sep 17 30 Sep 18 Amount Percent Branded products by our own manufacture 1/ 1,605 1,609 4 0.2 4,511 4,410 (101) (2.2) Branded products by 3 rd party's manufacture 2/ 241 176 (65) (26.9
sufficient information by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC
by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC probed into {A} case
Chairman Chanin Vongkusolkit and TLCA members, to discuss strategies for the development and promotion of supervision over listed companies. The discussions covered measures to prevent adverse behaviors
SEC and publicly disclose the rectified financial statement which has been audited by auditor. The order has been issued after the SEC found that auditor gave adverse opinion on the financial statement